Peter J Grogan
CFP®Professional Summary
Peter J Grogan, CFP®, who also goes by Peter Jerome Grogan, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Buffalo, New York. Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Tax Planning
- Estate Planning
- Retirement Planning
- Comprehensive Financial Planning
- Investment Planning
- Social Security Planning
Other Aliases
Peter Jerome Grogan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
Contact Information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062Phone Number
(972) 822-2055# of Employees
289SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
45,106AUM (Assets Under Management)
$24,646,765,344Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2026 | Cover Page | Report |
| 10/01/2024 | Cover Page | Report |
| 10/30/2023 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
State Registrations and Notice Filings
(3/14/2021)
(5/23/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1982About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Peter J Grogan's CRS (Customer Relationship Summary).
Services Offered by Peter
- Tax Planning
- Estate Planning
- Retirement Planning
- Comprehensive Financial Planning
- Investment Planning
- Social Security Planning
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LPL FINANCIAL LLC
